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U.S. Securities and Exchange Commission

List of Independent Consultants Selected
for the Global Reasearch Analyst Settlement

Updated April 28, 2004

The Final Judgments in the global research analyst settlement call for the selection of Independent Consultants acceptable to the Commission staff, the New York Attorney General, the New York Stock Exchange, the NASD, and the President of NASAA to oversee the procurement of the independent research from independent research providers.

The Independent Consultants who have been selected to date are:

Bear, Stearns & Co. Inc.    Michael J. Downey (mjd@mdowney.com)
CitigroupStanley "Bud" Morten (budmorten@aol.com)
C. S. First BostonPatricia Chadwick (pchadwick@ravengate.com)
Goldman SachsHenry A. Frantzen (hfrantzen@frantzencapital.com)
J. P. Morgan ChaseLaura Unger (lsunger@aol.com)
Lehman Brothers Inc.Mark Fichtel (mfichtel@cloud9.net)
Merrill LynchBridget Macaskill (bamacaskill@aol.com)
Morgan StanleyArthur Ainsberg (spinoff47@aol.com)
Piper JaffrayThomas Brakke (tom@tjbllc.com)
UBS WarburgMichael A. Dritz (mike@dritzenterprises.com)

 

http://www.sec.gov/spotlight/globalsettlement/consultlist.htm

Modified: 04/28/2004